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Securities / Derivatives
Enforcement
FSS Korea Directs to Foreign Firms to Improve Trading Controls
By Sanday Chongo Kabange | 02/08/2023
The firms erroneously recorded margin trading transactions. One firm also did not properly document reasons for client-directed order amendments.
Securities / Derivatives
HKEX Adds Additional Margin Calculation Flexibility to VaR Platform
By Sanday Chongo Kabange | 02/08/2023
The changes are designed to accommodate the needs of more complex portfolios and allow firms to easily exclude positions that will be settled by end of day.
Securities / Derivatives
CFFEX Seeks Greater Market Participation from Institutional Investors
By Editors | 01/08/2023
CFFEX will roll out new training, technology and incentives to better support intermediaries in servicing mid- and long-term institutional investors.
Enforcement
South Korea Penalises 18 Firms for Short-Selling Violations
By Sanday Chongo Kabange | 01/08/2023
The biggest fines went to QUANTin Asset Management and PFM Asset Management, which were penalised more than a combined KRW 600 million.
Securities / Derivatives
CSRC Looks to Brokers for Advice on Boosting the Stock Market
By Editors | 01/08/2023
CSRC convened a meeting with brokerages last week to discuss ways to restore investor confidence and boost the stock market.
Market Infrastructure
UPDATED – SEBI Directs MIIs to Establish Common Dispute Resolution Platform
By Sanday Chongo Kabange | 01/08/2023
Disputes between investors or clients and listed companies or any specified intermediaries or regulated entities in the securities market will be resolved through the proposed new platform.
Securities / Derivatives
China Unveils Measures to Boost Innovation, Consumption and Recovery
By Editors | 01/08/2023
The PBOC unveiled a financial support system for technological innovation. The State Council announced measures to support consumption.
Securities / Derivatives
US Plans More Investment Curbs on China as France Bolsters Bilateral Ties
By Editors | 01/08/2023
Amid rising US-China tensions, Biden plans further tech investment curbs. Yet, France is fostering deeper economic cooperation with China.
Securities / Derivatives
NSE India Considers Extending Trading Hours
By Editors | 31/07/2023
NSE is considering extending trading hours to make it more convenient for office-goers to trade in the evening.
Securities / Derivatives
SEC Finalises Cybersecurity Disclosure Rules for Public Companies
By Editors | 31/07/2023
Public companies will be required to disclose their cyber risk management practices and report significant incidents within four business days.
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